Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Denies No-Action Request for “Publisher Exclusion” for Recommendations of Crowdfunded Investments

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Investment Advisers The SEC denied a no-action request that was submitted by Jonathon Hendricks.  The no-action request inquired about a Wyoming based business  that would make available a  list of securities from a loan crowdfunding site that Mr. Hendricks’ proposed business perceived to be good investments.  No representation is made in the no-action request that  Mr. Hendricks […] Read more →

by   |   February 4, 2015

SEC Finds Loan to Investment Adviser’s CEO a Conflict of Interest

Investment Advisers Consulting Services Group, LLC, or CSG, was a registered investment adviser whose business included providing consulting services to public pension funds. These consulting... Read more →

by   |   January 20, 2015

SEC Provides Guidance on Key Employee Trusts Under Family Office Rule

Investment Advisers The SEC Division of Investment Management recently provided guidance on whether certain key employee trusts would qualify as family clients under the rule. Recognizing the need... Read more →

by   |   December 29, 2014

Volker Rule Compliance for Private Equity and Hedge Funds Extended

Banking, Investment Advisers, Private Equity The Federal Reserve Board has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking... Read more →

by   |   December 19, 2014